Robert James Waterfall

Last updated
2 weeks ago
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Where they hold approval

Firms where this individual holds — or has held — an FCA-approved role.

  • Best Practice IFA Group Limited

    FRN 223112

    • 9A. Advising on P2P agreements
    • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • [FCA CF] Client dealing (since 4 Nov 2024)
    • Appointed representative dealing with clients for which they require qualification (since 4 Nov 2024)
    • CF30 Customer (since 28 Jun 2024)
  • Benchmark Financial Planning Limited

    FRN 227247

    • Employed By (since 28 Jun 2024)
  • Oculus Wealth Management Limited (no longer approved here)

    FRN 605985

    • [FCA CF] Functions requiring qualifications (22 Sep 2020 to 28 May 2025)
    • Appointed representative dealing with clients for which they require qualification (22 Sep 2020 to 28 May 2025)
    • CF1 Director (AR) (22 Sep 2020 to 9 Jul 2025)
    • CF30 Customer (22 Sep 2020 to 9 Jul 2025)
    • [FCA CF] Client dealing (9 Dec 2019 to 28 May 2025)
  • Chase de Vere Independent Financial Advisers limited (no longer approved here)

    FRN 137914

    • CF30 Customer (1 Nov 2007 to 4 Sep 2008)
    • CF21 Investment Adviser (30 Dec 2003 to 31 Oct 2007)
  • Wesleyan Assurance Society (no longer approved here)

    FRN 110873

    • CF21 Investment Adviser (1 Dec 2001 to 31 Dec 2003)
  • Wesleyan Unit Trust Managers Limited (no longer approved here)

    FRN 175798

    • CF21 Investment Adviser (1 Dec 2001 to 31 Dec 2003)

Recent activity

Updates to this individual's record on the FCA register.

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